SEC.gov | Senior Educational Event

The SEC's Philadelphia Regional Office invites older investors to an educational event at West Chester University on June 12. Experts will discuss topics that specifically relate to seniors, including information about various investment products, how changes in thought and memory affect decision-making, and how to protect yourself from financial fraud and scams. Free lunch will be provided for registered attendees.

Hear directly from SEC staff and representatives from the Financial Industry Regulatory Authority, the Pennsylvania Department of Banking and Securities, Temple University Institute on Protective Services, Chester County District Attorney’s Office, and AARP.

This is not a West Chester University affiliated event.

Registration is Free and Easy

Call 215-597-0200 and leave a voicemail or email SECSeniorOutreach@sec.gov. Please include your name, phone number, and lunch choice. Accommodations for individuals with disabilities are available upon request and must be included with your registration.

AGENDA | 9:30 a.m. – 2:30 p.m.

9:30 a.m. – 9:55 a.m. | Check-In
[+] 9:55 a.m. – 10:00 a.m. | Introductory Remarks

G. Jeffrey Boujoukos, Regional Director,
Securities and Exchange Commission, Philadelphia Regional Office
[+] 10:00 a.m. – 10:45 a.m. | Risks and Appropriateness of Certain Investment Products
Moderator

Kelli Byrne, Exam Manager, Office of Compliance Inspections and Examinations, Securities and Exchange Commission, Philadelphia Regional Office

Panelists:
- Peter Chandler, Director of Investor Education, Financial Industry Regulatory Authority
- Daniel Faigus, Examiner, Private Funds Unit, Office of Compliance Inspections and Examinations, Securities and Exchange Commission, Philadelphia Regional Office
- Brian LaForme, Executive Deputy Secretary, Pennsylvania Department of Banking and Securities
10:45 a.m. – 11:00 a.m. | Break
[+]11:00 a.m. – 11:30 a.m. | Changes in Thought and Memory and How That Affects Decision Making

Ronald W. Costen, Professor Emeritus and Legal Consultant, Temple University, Institute on Protective Services
[+]11:30 a.m. – 12:15 p.m. | Are You Getting What You Paid For?

Mary Bach, Independent Consumer Advocate and Chair of the AARP Pennsylvania Consumer Issues Task Force
[+]12:15 p.m. – 12:45 p.m. | Red Flags of Investment Fraud and FINRA Trusted Contact Rule
- Mark Dowdell, Assistant Regional Director, Co-Chair Marketing & Sales Practices Working Group, Office of Compliance Inspections and Examinations, Securities and Exchange Commission, Philadelphia Regional Office
- Peter Chandler, Director of Investor Education, Financial Industry Regulatory Authority
[+]12:45 p.m. – 2:30 p.m. | Upstairs Ballroom Events Occurring During Lunch
Videos

Investigation and Prosecution of Elder Abuse
- Michael G. Noone, First Assistant District Attorney, Chester County District Attorney’s Office
- Caitlin E. Rice, Assistant District Attorney, Member-Chester County Elder Abuse Task Force, Chester County District Attorney’s Office
Closing Remarks

Joy G. Thompson, Associate Regional Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission, Philadelphia Regional Office

Senior Educational Event

Attention Seniors: Be a Savvy Investor and Avoid Fraud

Registration is Free and Easy

AGENDA | 9:30 a.m. – 2:30 p.m.

9:30 a.m. – 9:55 a.m. | Check-In

[+] 9:55 a.m. – 10:00 a.m. | Introductory Remarks

[+] 10:00 a.m. – 10:45 a.m. | Risks and Appropriateness of Certain Investment Products

Moderator

Panelists:

10:45 a.m. – 11:00 a.m. | Break

[+]11:00 a.m. – 11:30 a.m. | Changes in Thought and Memory and How That Affects Decision Making

[+]11:30 a.m. – 12:15 p.m. | Are You Getting What You Paid For?

[+]12:15 p.m. – 12:45 p.m. | Red Flags of Investment Fraud and FINRA Trusted Contact Rule

[+]12:45 p.m. – 2:30 p.m. | Upstairs Ballroom Events Occurring During Lunch

Videos

Closing Remarks

FREE lunch will be provided. Sandwich options are:

Location

Questions?